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An assistant DOL secretary says regulations or guidance may be needed to protect participants in 401(k) plans that allow investing in virtually all a brokerage has to offer.
The Financial Advocacy Network supports four independent advisory practices with a total of approximately $450 million in client assets.
Financial Advisor magazine has learned that Fortigent's Scott Welch will be the latest high-profile executive leaving an LPL Financial's investment unit.
Edward Jones, the 92-year-old St. Louis brokerage, is looking to head off a projected shortfall of financial advisors by sponsoring training classes at U.S. universities.
Thomas Carroll, who announced his retirement in June as chief auditor at Prudential Financial and had a brush with celebrity through his 14-year relationship with actress Stefanie Powers, has died.
The Public Company Accounting Oversight Board says lapses in B-D audits continue to be widespread four years after it was given the responsibility of reviewing the reports by the Dodd-Frank Act.
Dually registered investment advisory and broker-dealer firms will be able to continue selling stock from their own accounts to some clients, the SEC said.
Benjamin W. Wong and Associates of Pleasanton, Calif., manages $700 million in client assets.
RCS Capital, owner of Cetera Financial Group, said today that it has agreed to purchase San Diego-based independent broker-dealer Girard Securities.
Cetera Financial Group launched its fifth annual Wealth Management University event in Las Vegas this morning with almost 200 advisors attending.
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